Securities Lawyers Blog

Broker Nathan Sampler in Cetera Advisor Networks LLC Firm Has Customer Complaint

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Sampler (Sampler), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sampler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 25, 2020.

Customers allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker James Greene in Firm B. Riley Wealth Management

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Greene (Greene), previously associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Greene recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on September 24, 2020.

Suitability

There are Recent Customer Complaints with Broker Jose Cornide in Firm UBS Financial Services INC.

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Cornide (Cornide), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Cornide recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,000,000.00 on September 25, 2020.

Time frame: Starting around June 2016 Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Marshall Hagen in Firm UBS Financial Services INC.

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marshall Hagen (Hagen), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hagen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on September 24, 2020.

Time frame: October 2014 to December 2019 \<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

There are Recent Customer Complaints with Broker Steven Farley in Firm LPL Financial LLC

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Farley (Farley), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Farley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $42,000.00 on September 24, 2020.

Claimant alleges that one of the investments purchased for his portfolio in 2013 was unsuitable because the price of the investment allegedly declined in June of 2020. activity period: 4/2013 to 7/2020.

There are Recent Customer Complaints with Broker Peter Maris in Firm Osaic Wealth, INC.

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Maris (Maris), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Maris recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $750,000.00 on September 23, 2020.

Customers allege universal life insurance policy and variable annuities purchased beginning in 1999 were unsuitable.

Broker Howard Leon in Newbridge Securities Corporation Firm Has Customer Complaint

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Leon (Leon), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Leon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on September 24, 2020.

Suitability

There are Recent Customer Complaints with Broker Christopher Murray in Firm Mutual Securities, INC.

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Murray (Murray), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Murray recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 28, 2020.

Client retained an attorney to investigate a series of transactions that resulted in a loss. Client was concerned that the transactions were not properly authorized.

There are Recent Customer Complaints with Broker Henry Goodman in Firm Young America Capital, LLC

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Goodman (Goodman), previously associated with Young America Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Goodman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $600,000.00 on September 28, 2020.

December 2018 Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Scott Merrill in Firm UBS Financial Services INC.

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Merrill (Merrill), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Merrill recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 24, 2020.

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